Senior Associate, Advertising Compliance (Hybrid)

The work we do has an impact on millions of lives, and you can be a part of it.

We help protect our customers against life’s uncertainties. Regardless of where you work within the company, you’ll be helping provide protection and peace of mind when our customers need it most.

The Senior Associate, Advertising Compliance, is responsible for regulatory compliance functions supporting corporate advertising functions, including Protection, Retirement, Executive Benefits, and Employee Benefits.  The Advertising Review Team is a service-oriented team of experienced professionals responsible for reviewing marketing material that is created by internal partners, including Marketing, Corporate Communications, Brand, and Training.  The Senior Advertising Compliance Analyst is responsible for supporting Protective’s marketing strategy targeting both financial professionals and consumers.  

Responsibilities:

• Serving as a subject matter expert for compliance staff and colleagues across the organization specific to both insurance and securities advertising compliance regulations;
• Acting as Registered Principal for conducting variable life and variable annuity advertising reviews ensuring that the content is accurate, complete, fair and balanced, and complies with securities and insurance regulations;
• Conducting reviews of a wide variety of advertisements across all mediums, including print, digital, and social media;
• Offering constructive, flexible, relevant, timely, and contextual revisions and feedback for the purpose of ensuring compliance with insurance and securities regulations as well as company policies and standards;
• Developing and maintaining effective working relationships with compliance colleagues, internal legal counsel, marketing professionals, product SMEs, and other colleagues across the organization;
• Coordinating compliance reviews relative to co-branded materials with various external distributors and/or fund companies; 
• Participating as needed in any variety of corporate initiatives to provide proactive, constructive, and team-oriented feedback, advice, and guidance relative to advertising compliance;
• Filing of material with FINRA Advertising Regulation and various state insurance departments when applicable and required; 
• Assisting the Senior Director in identifying, creating, and changing processes and procedures to consider emerging technology as well as changes to regulatory and business environments; and
• Keeping current on industry developments that impact advertising and public communications and advise internal colleagues of pending changes in applicable rules and regulations and their effect on marketing/sales materials.

Qualifications/Requirements:

• Bachelor’s Degree, preferred, or comparable experience
• FINRA Series 6 or 7, and 26 or 24 (or able to obtain within 60 days of hire)
• Minimum 3 years of experience in the insurance or financial services industry
• Proficient knowledge of the rules and obligations of federal and state insurance and securities laws applicable to advertisements and communications with the public
• Robust understanding of broker-dealer and RIA marketing and communications rules
• Comprehensive knowledge of insurance and annuity products, including but not limited to fixed and indexed annuities, variable annuities, and variable universal life
• Ability and willingness to support areas of the company amiably and responsively
• Well-organized and highly efficient, possessing excellent verbal and written communication skills and the ability to interact with company management and regulatory analysts and contacts
• Excellent interpersonal skills and ability to think subjectively and work independently and effectively under pressure
• Flexibility and the ability to successfully prioritize projects as they are submitted based on the priorities and needs
• Service-oriented with the ability to seek logical, equitable, and compliant solutions with limited guidance and sound judgment
• Familiarity with FINRA’s Advertising Regulation Electronic Filing (AREF) System

We aim to protect our employees' wellbeing through a broad benefits offering. For example, we protect physical wellbeing through health, dental and vision insurance. We protect mental wellbeing through mental health benefits and an employee assistance program. We protect time away from work with a variety of paid time away benefits (e.g., paid time off, paid parental leave, short-term disability, and a cultural observance day). We protect financial wellbeing through contributions to healthcare accounts, a pension plan, and a 401(k) plan with Company matching. All employees are encouraged to protect their overall wellbeing by engaging in ProHealth Rewards, Protective’s platform to improve wellbeing while earning cash rewards.  

Eligibility for certain benefits may vary by position in accordance with the terms of the Company’s benefit plans.

Diversity and Inclusion:

At Protective, we are committed to providing an inclusive culture where all employees are able to fully contribute and thrive. Our goal is to grow and develop our people, attract diverse talent and support strong, diverse communities.

We support diversity, equity, and inclusion by working to develop a culture of inclusion and belonging led by leaders who develop potential and embrace all skills and abilities. Our aim is to create an equitable environment for all leaders and employees that will drive performance and impact business strategy. In this way, we can increase overall diversity for leadership roles and pipelines of talent by maturing our hiring practices, robust development opportunities and focus on retention of key talent.

We are proud to be an equal opportunity employer committed to being inclusive and attracting, retaining, and growing the talents of a diverse and inclusive workforce.

If you require an accommodation to complete the application and recruitment process due to a disability, please email [email protected] information will be held in confidence and used only to determine an appropriate accommodation for the application and recruitment process.

Please note that the above email is solely for individuals with disabilities requesting an accommodation.  General employment questions should not be sent through this process.